Information and knowledge collecting tools

By |June 10th, 2013||Comments Off on Information and knowledge collecting tools

Information collection is the key to many and better policies (e.g. evidencebased policy) (Nutley et al. 2007) and, as Hood (1986) pointed out, many implementation instruments exist to collect information and can contribute to enhanced ‘evidence-based’ policy-making.. This extends to the use of licensing provisions in which information may be collected before or after a licence is granted, but can also involve the use of research and generation of new policy-relevant knowledge.
Judicial inquiries and executive commissions
One fairly common and high-profile means by which governments collect information is the judicial inquiry or executive commission. These exist on a spectrum depending on their relationship to government agencies and according to their functions. Some inquiries and task forces are largely internal discussed in Chapter 5 above in the context of procedural organizational tools.
Other kinds of commissions, however, are designed primarily to collect information (Sulzeabu-Kenan 2010; Rowe and McAllister 2006). Many judicial inquiries fall into this category and have a great deal of autonomy from governments. They are a common feature of legal modes of governance. Presidential and royal commissions are independent and autonomous but still depend on government for budgets and resources. All of these devices can be used to summarize existing knowledge or generate new data on a subject (Chapman 1973; Bulmer 1981; Sheriff 1983; Clark and Majone 1985; d’Ombrain 1997; Elliott and McGuinness 2001; Montpetit 2003; 2008; Salter 2003; Prasser 2006).
National statistical agencies
Another such tool is the use of statistical agencies which are specifically tasked with collecting data on a wide variety of social activities of individuals, groups and firms. These typically operate using internationally recognized standards for classifying these activities and may rely more or less heavily on voluntary [...]

Network mobilization tools

By |June 8th, 2013||Comments Off on Network mobilization tools

A second key type of activity undertaken by governments through the use of procedural financial policy tools relates less to the creation of new groups and networks than to the reorientation of older, already existing ones. Again, in the case of think tanks and other such actors, this can be accomplished through various forms of government contracting and procurement, notably consulting (Speers 2007). A significant target for this kind of funding, however, is interest groups.
Interest group alteration/manipulation/co-optation
Cash funds or the tax system are used in many countries to alter interest group behaviour. The aim may be simply to neutralize or co-opt a vocal opponent of government (Kash 2008), but can also be a more broad-based effort to ‘even out the playing field’ for groups which lack the kinds of resources available to other groups (such as business) to mobilize and pressure governments to adopt policies of which they approve (Furlong and Kerwin 2004; Boehmke 2005).4
Governments often use this tool to counterbalance, for example, lobbying on the part of business interests.Lowry (1999) found that two main types of foundations exist in the USA – company sponsored and independent – and both take active roles not only in interest group creation (discussed above) but also in funding interest group activities. In the United States in 1992 for example, he uncovered 463 grants made by 37 company foundations and 125 independent foundations just to environmental groups, $32.6 million from independent foundations versus only $1.5 million from company-sponsored foundations. Again, given the favourable tax treatment foundations enjoy in the USA, this gives the US government a substantial indirect role in interest group activity as well as their creation.
In other countries, as with interest group [...]

Policy network creation tools

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Although their activities in this domain are often hidden from view, governments practising network and corporatist governance modes are very often actively involved in the creation and organization of policy networks and many key policy actors. An important activity in this regard is the use of government financial resources to create either the organizations themselves which go into the establishment of a policy network – research institutes, think tanks, government departments and the like – or to facilitate the interaction of already existing but separate units into a more coherent network structure (Hudson et al. 2007).
Funding is very often provided to think tanks and other policy research units and brokers by governments, either in the form of direct funding or as contracts (Rich 2004; Abelson 2007). More controversial, however, and at thesame time not very well understood, is the role governments play in funding interest groups (Anheier et al. 1997).
Interest group creation
Provision of seed money is a key factor in interest group creation (Nownes 2004). King and Walker (1991), for example, found that the percentage of groups that received aid from outside groups in startups in the United States was 34 per cent for profit sector groups, non-profit 60 per cent, national pubic interest groups in the USA in the mid-1990s and uncovered a pattern in terms of how their origin was financed (Table 7.1). While this survey revealed no direct government involvement, it did show that Foundations provided a large percentage of the funding for pressure group creation, and since these operate under special tax treatment in the USA, this gives the US federal government a substantial indirect role in interest group creation in that country (Lowry 1999; Carmichael 2008).

Procedural financial instruments

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Treasure resources, of course, like organizational and authoritative ones, can also be used to alter the nature of policy processes. Procedural financial tools are generally used to attempt to alter or control aspects of the interest articulation and aggregation systems in contemporary states by creating or encouraging the formation of associations and groups where this activity might not otherwise occur, or, more prosaically, by rewarding government friends and punishing enemies through various kinds of payment schemes or penalties.
Phillip Schmitter, in his comparative studies of European systems, argued that the interest articulation systems in different countries form a spectrum from ‘free market’, ‘competitive’ pluralism to ‘state-sponsored oligarchic corporatism’ (see Figure 7.1).
In Schmitter’s (1977; 1985) view pluralism is a system of interest articulation in which interest groups are ‘free-forming’, have voluntary membership, and are multiple and non-monopolistic/competitive. That is, more than one group can represent individual members. This closely approximates the situation with network and market governance regimes at the sectoral level. Corporatist regimes are the opposite – they require state licencing, have compulsory membership, and are monopolistic.1 Neo-pluralism is a modern version of pluralism which takes into account some state activity in this area (e.g. the USA, Canada, Great Britain) and can be considered the analogue of legal governance at the sectoral level.2
Olson’s (1965) view of the ‘collective action problems’ interest groups face in these different governance contexts is an important insight helpful to understanding the rationales for the government use of the procedural financial instrument in these situations. Olson argued that in any political system, some individuals have fewer incentives and more disincentives to form and join interest groups than others – for example, someone benefiting from some proposed government action [...]

Cash or tax-equivalent financial tools

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Both cash and tax or royalty-based transfers provide financial incentives and disincentives to policy actors to undertake or refrain from undertaking specific activities encouraged or discouraged by governments. However, such encouragement and discouragement does not always require a direct or indirect cash much less direct use of their spending powers to offset costs or provide additional benefits to policy targets. Several of the more prominent of these tools are discussed below.
Preferential procurement
Procurement involves the use of government purchases to subsidize companies or investors which agree to abide by specific provisions of government contracts. These can extend to preferential treatment for firms which, for example, employ the disabled or women, or ethnic or linguistic minorities, but also often extend to special favourable treatment for small business; national defence contractors; and regional development schemes in which investors receive government contracts if they agree to locate factories or distribution or other services in specially designated regions (Bajari and Tadelis 2001; Rolfstam 2009).
Procurement schemes play a major part in efforts by governments to promote ‘third sector’ or volunteer and community group-based delivery of public services and are often a part of corporatist governance arrangements. In many cases it may be illegal or unconstitutional for a government to directly deliver funding to such groups, especially since many have a religious or ‘faith base’ which can violate constitutional limits separating church and state activities (Dollery and Wallis 2003; Black et al. 2004; Kissane 2007; Hula et al. 2007; Zehavi 2008). However, these groups may still be able to receive favourable treatment such as in bidding for government contracts, making procurement an important part of their funding base and of efforts to enhance their policy delivery capacity (Carmel [...]

Network management tools

By |June 6th, 2013||Comments Off on Network management tools

There are many different types of procedural tools linked with the use of specific government organizational resources which can affect various aspects of policy subsystem behaviour in policy processes. Interest in these tools has grown as many governments, as discussed in Chapter 1, have moved in the direction of more overt network management in some sectors in recent years.
Staff or central (executive) agencies
This is an old form of government organization, one in which a small, coordinating government agency, rather than one which directly delivers services to the public, is created to centralize agency initiatives in some area. Such ‘staff or ‘central’ agencies are generally created as a means to control other administrative agencies and are often linked very closely to the political executive (Bernier, Brownsey and Howlett 2005). In Westminister-style parliamentary systems, for example, older examples include privy council offices and treasury board secretariats, while newer ones include presidential, premier and prime minister’s offices, ministries of state, communication units, intergovernmental secretariats, and various kinds of implementation units (Chenier 1985; Savoie 1999; Lindquist 2006).
Although small (even most prime minister’s offices until recently had less than 100 personnel, most of whom handled correspondence) these are central co-ordinating units which exercise a great deal of control over other bureaucratic agencies through their links to the executive and to the budgetary and policy processes in government. They have seen much growth in recent years as political executives have sought to re-establish control over far flung administrative apparatuses (Campbell and Szablowski 1979; Rhodes and Weller 2001; Bevir et al. 2003; Bernier et al. 2005). Unlike line departments, these staff or central agencies are less, or non-hierarchical, flatter organizations typically staffed by political appointees, although others also [...]

Direct government

By |June 5th, 2013||Comments Off on Direct government

The direct use of government agencies for substantive policy purposes involves the ‘delivery of a good or service by government employees, funded by appropriations from government treasury’ (Leman 1989 and 2002). Within this general type of direct government organizational tool, there are several common forms or subtypes found in many jurisdictions. These include the following:
Line departments
In most countries government agencies undertake a wide variety of tasks on a direct basis. These include, but are certainly not limited to, those listed in (Table 5.1).
These services are provided at all levels of government (central or federal, provincial, state or regional, as well as urban or local) in slightly different configurations in different countries. Unemployment, welfare or social security payments, for example, can be the task of central governments in some countries and eras, and of provincial or local governments in others. Typically modern government agencies follow what is known in the public administration literature as a Weberian ‘monocratic bureaucracy’ form of organization (Brubaker 1984; Beetham 1987). This is a type of organizational structure first systematically described and analyzed by the German political sociologist Max Weber in his early twentieth-century work, Economy and Society. Weber argued that although bureaucratic forms of organization had a long history, a significant change had occurred in the modern era as such organizations had come to be viewed as providing services to the public rather than being the property of a monarch or emperor to do with as he or she pleased. The main characteristics of a modern government agency, in Weber’s view, were:

Personnel are appointed on the basis of a merit system of appointment, retention and recruitment.
Office holders do not own the office in which they work, [...]

Readings on Policy Design Taxonomies

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Bemelmans-Videc, Marie-Louise and Evert Vedung. 1997. ‘Conclusion:
Policy Instrument Types, Packages, Choices and Evaluation’. In Carrots,
Sticks and Sermons: Policy Instruments and Their Evaluation (eds) M. L.
Bemelmans-Videc, R. C. Rist and E. Vedung. New Brunswick, NJ:
Transaction Publishers, 249–73.
Cushman, R. E. 1941. The Independent Regulatory Commissions. London:
Oxford University Press.

de Bruijn, Johan A. and Ernst F. ten Heuvelhof. 1995. ‘Policy Networks and
Governance’. In David L. Weimer (ed.) Institutional Design. Boston, MA:
Kluwer Academic Publishers, 161–79.
—— 1997. ‘Instruments for Network Management’. In W. J. M. Kickert, E.-
H. Klijn and J. F. M. Koppenjan (eds) Managing Complex Networks:
Strategies for the Public Sector. London: Sage, 119–36.
Doern, G. B. and V. S. Wilson. 1974. ‘Conclusions and Observations’. In Issues
in Canadian Public Policy. ed. G. B. Boern and V. S. Wilson Toronto:
Macmillan, 337–45.
Goodin, Robert E. 1980. Manipulatory Politics. New Haven, CT: Yale
University Press, 1–36.
Hood, C. 1983. ‘Using Bureaucracy Sparingly’. Public Administration 61, no.
2: 197–208.
—— 2007. ‘Intellectual Obsolescence and Intellectual Makeovers: Reflections
on the Tools of Government after Two Decades’. Governance 20, no. 1:
127–44.
Howlett, Michael. 1991. ‘Policy Instruments, Policy Styles, and Policy
Implementation: National Approaches to Theories of Instrument Choice’.
Policy Studies Journal 19, no. 2: 1–21.
—— 2000. ‘Managing the “Hollow State”: Procedural Policy Instruments
and Modern Governance’. Canadian Public Administration 43, no. 4:
412–31.
—— 2004. ‘Beyond Good and Evil in Policy Implementation: Instrument
Mixes, Implementation Styles and Second Generation Theories of Policy
Instrument Choice’. Policy and Society 23, no. 2: 1–17.
Howlett, Michael and Jeremy Rayner. 2007. ‘Design Principles for Policy
Mixes: Cohesion and Coherence in “New Governance” Arrangements’.
Policy and Society 26, no.4: 1–18.
Issalys, Pierre. 2005. ‘Choosing among Forms [...]

Policy design as constrained expert discourse

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It is common to find statements such as Halligan’s (1995) assertion that a good advice system should consist of:

at least three basic elements within government: a stable and reliable inhouse advisory service provided by professional public servants; political advice for the minister from a specialized political unit (generally the minister’s office); and the availability of at least one third-opinion option from a specialized or central policy unit, which might be one of the main central agencies.

And in all cases a major role in policy formulation and policy design is played by these kinds of core actors, such as professional policy analysts, central agency officials and others (Page 2010; Renn 1995).
However, it is also important to note that their influence becomes more direct, although also more constrained, as the formulation process becomes focused on particular and more precise design dimensions (Meltsner 1976). That is, in a typical policy design situation, not all elements of a policy are at play and the range of choices left to designers at the micro-level of concrete targeted policy tool calibrations is restricted by general policy aims and implementation preferences which, in turn, inform meso-level considerations about alternative policy objectives and policy tool combinations.
Thus in many design situations, general abstract policy aims and implementation preferences can often be taken as given, establishing the context in which design decisions relating to programme-level and on-the ground specifications are made by policy insiders and core actors. And in many cases, even the goal components of these last two levels of policy may be already established, leaving the designer only the task of establishing specific policy tool calibrations which cohere with these already existing or well established policy elements. How the macro, [...]

Readings on Policy Design, Instruments and Tools

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Bobrow, D. B. and J. S. Dryzek. 1987. Policy Analysis by Design. Pittsburgh, PA: University of Pittsburgh Press. Bressers, H. T. A. and L. J. O’Toole. 1998. ‘The Selection of Policy Instruments: A Network-based Perspective’. Journal of Public Policy 18, no. 3: 213–39. —— 2005. ‘Instrument Selection and Implementation in a Networked Context’. In Designing Government: From Instruments to Governance, ed. P. Eliadis, M. Hill and M. Howlett. Montreal: McGill-Queen’s University Press, 132–53. Dryzek, John. 1983. ‘Don’t Toss Coins in Garbage Cans: A Prologue to Policy Design’. Journal of Public Policy 3, no. 4: 345–67. Dryzek, J. S. and B. Ripley. 1988. ‘The Ambitions of Policy Design’. Policy Studies Review 7, no. 4: 705–19. Dye, T. R. 1972. Understanding Public Policy. Englewood Cliffs, NJ: Prentice-Hall. Hill, M. and P. Hupe. 2002. Implementing Public Policy: Governance in Theory and Practice. London: Sage Publications. —— 2003. ‘The Multi-Layer Problem in Implementation Research’. Public Management Review 5, no. 4: 471–90. —— 2006. ‘Analysing Policy Processes as Multiple Governance: Accountability in Social Policy’. Policy and Politics 34, no. 3: 557–73. Howlett, M. 2000. ‘Managing the “Hollow State”: Procedural Policy Instruments and Modern Governance’. Canadian Public Administration 43, no. 4: 412–31.
Howlett, M. 2005. ‘What is a Policy Instrument? Policy Tools, Policy Mixes and Policy Implementation Styles’. In Designing Government: From Instruments to Governance, ed. P. Eliadis, M. Hill and M. Howlett. Montreal: McGill-Queen’s University Press, 31–50. Lasswell, H. D. 1956. The Decision Process: Seven Categories of Functional Analysis. College Park, MD: University of Maryland Press. —— 1958. Politics: Who Gets What, When, How. New York: Meridian. Linder, S. H. and B. G. Peters. 1984. ‘From Social Theory to Policy Design’. Journal of Public Policy 4, no. 3: 237–59. [...]